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Corporate Governance: Is it Time To Review Your Board? – in association with Effecta Compliance

February 9, 2022 @ 4:00 pm - 5:00 pm

With greater regulator focus on the Board each year is it time that you reviewed your Board? Although generally there has been increasing recognition by corporates of the benefits of more diverse boards and leaders, for financial service firms, progress in this area has, to date, been limited.

Whilst there is a clear link between increased diversity and inclusion and healthy corporate cultures, leading ultimately to better outcomes for consumers and markets – and that all important bottom line – financial services firms have continued to operate as if not much has changed. The question is, if diversity and inclusion helps firms meet FCA regulatory objectives, leads to better outcomes and positively impacts profitability why has the take up been so slow?  Emma Vernon of Constantine Law will discuss what is meant by Diversity and Inclusion and the benefits this has on culture and conduct, as well as the practical steps firms should take.

In addition to a diverse and inclusive Board, what other areas should Boards be looking to improve?  How many firms undertake truly independent Board evaluations? In the past these evaluations tended to be high level and “tick box” in nature.  Is it the classic ‘agency problem’ in which boards are too close to management and tend to take on the objectives of executives while neglecting those of shareholders and clients?

Robust board evaluations close the distance between the board and other stakeholders by bringing to the surface all of the issues that potentially impact on the effectiveness of the Board.  Even the FCA Board evaluation identified room for improvement! Sam Rowe from Effecta Compliance will discuss how to undertake an effective evaluation and the benefits as well as practical issues firms encounter during this process.

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About Effecta Compliance

Effecta works with financial services firms helping them to manage and implement changes driven by new regulations and strategic risk management objectives. Our consultants are all industry practitioners who understand the pressures and obligations of regulated firms as well as those registered as Compliance Officer, MLRO’s and Senior Managers and we are there to help our clients navigate many of today’s largest, most challenging issues impacting the financial services industry.



February 9, 2022
4:00 pm - 5:00 pm




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